[Federal Register Volume 79, Number 119 (Friday, June 20, 2014)]
[Notices]
[Pages 35366-35369]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-14079]
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DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket No. DHS-2014-0031]
Privacy Act of 1974; Department of Homeland Security Federal
Emergency Management Agency--002 Quality Assurance Recording System of
Records
AGENCY: Privacy Office, Department of Homeland Security.
ACTION: Notice of Privacy Act System of Records.
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SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Homeland Security proposes to update and reissue a current Department
of Homeland Security system of records titled, ``Department of Homeland
Security/Federal Emergency Management Agency--002 Quality Assurance
Recording System of Records.'' This system of records allows the
Department of Homeland Security/Federal Emergency Management Agency to
collect and maintain records on the customer service performance of its
employees, contractors, and vendors who interact with individuals who
apply for the Agency's individual assistance and public assistance
programs.
As a result of a biennial review of this system, the Department of
Homeland Security/Federal Emergency Management Agency is updating this
system of records notice to include updates to the (1) system location,
(2) category of individuals, (3) category of records, (4) routine uses,
(5) legal authorities, (6) purpose, (7) retrievability, (8) retention
and disposal, and (9) record source categories. Additionally, this
notice includes non-substantive changes to simplify the formatting and
text of the previously published notice. This updated system will be
included in the Department of Homeland Security's inventory of record
systems.
DATES: Submit comments on or before July 21, 2014. This updated system
will be effective July 21, 2014.
ADDRESSES: You may submit comments, identified by docket number DHS-
2014-0031 by one of the following methods:
Federal e-Rulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
Fax: 202-343-4010.
Mail: Karen L. Neuman, Chief Privacy Officer, Privacy
Office, Department of Homeland Security, 245 Murray Drive SW., Building
410, STOP-0655, Washington, DC 20528.
Instructions: All submissions received must include the agency name
and docket number for this rulemaking. All comments received will be
posted without change to http://www.regulations.gov, including any
personal information provided.
Docket: For access to the docket to read background documents or
comments received, please visit http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For general questions, please contact:
Eric M. Leckey, (202) 212-5100, Privacy Officer, Federal Emergency
Management Agency, Department of Homeland Security, Washington, DC
20478. For privacy questions, please contact: Karen L. Neuman, (202)
343-1717, Chief Privacy Officer, Privacy Office, Department of Homeland
Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC
20528.
SUPPLEMENTARY INFORMATION:
I. Background
In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the
Department of Homeland Security (DHS)/Federal Emergency Management
Agency (FEMA) proposes to update and reissue a current DHS system of
records titled, ``DHS/FEMA-002 Quality Assurance Recording System of
Records.''
DHS/FEMA published this system of records notice because FEMA
collects, uses, maintains, and retrieves personally identifiable
information (PII) from its employees and contractors for internal
employee performance evaluations, training, process improvement, and
quality assurance purposes to improve customer service to individual
assistance and public assistance applicants. FEMA collects information
from individuals (including PII) as necessary, or uses information
previously collected from them to provide customer service to these
applicants.
FEMA collects, uses, and maintains the records within this system
under the authority of 5 U.S.C. 301; 5 CFR 430.102; the Federal Sector
Labor Management Relations Act, 5 U.S.C. 4302, and 5 U.S.C. 7106(a);
Fraud, Abuse, and Waste Controls, 6 U.S.C. 795; 29 U.S.C. 204(b); Exec.
Order No. 1357; FEMA Directive 3100.1; and FEMA Directive 3700.
FEMA is updating this system of records notice because it provides
greater transparency by encompassing the additional FEMA National
Processing Service Center (NPSC) customer service performance records,
including those employees/contractors who assess the customer service
satisfaction of public assistance applicants.
(1) FEMA is updating the system location to include the Virginia
NPSC in Winchester, Virginia, and the Maryland NPSC in Hyattsville,
Maryland as possible locations for records within this system of
records. FEMA is also updating the system location to include the
Quality Assurance Recording System (QARS) IT system, which maintains
these records; (2) FEMA is updating category of individuals to include
FEMA employees and contractors that perform customer satisfaction
assessments involving applicants of FEMA's individual assistance and
public assistance programs; (3) FEMA is revising the category of
records to include voice recordings within this system of records.
Those records may also include a third-party vendor that is providing
language translation services between the individual assistance
applicant and
[[Page 35367]]
FEMA. The revisions may also expand the ``quality result'' to include
FEMA employees/contractors providing customer service to public
assistance applicants; to include email addresses for both Individual
Assistance and Public Assistance; to include the system-generated
Contact ID and Survey ID unique to applicants; and to include specific
public assistance applicant information; (4) FEMA is adding one routine
use to allow information to be shared with the news media and public
with approval of the Chief Privacy Officer in consultation with
counsel; (5) FEMA is updating legal authority to include Executive
Order No. 13571, ``Streamlining Service Delivery and Improving Customer
Service,'' which builds upon the requirements of Executive Order No.
12862 ``Setting Customer Service Standards''; (6) FEMA is updating the
purpose to include a reference to public assistance programs; (7) FEMA
is amending retrievability to remove the reference to the DHS/FEMA-008
Disaster Recovery Assistance Files System of Records (April 30, 2013,
78 FR 25282), and to add the notation that information in this system
of records cannot be retrieved by the PII of individual assistance
applicants or public assistance applicants; (8) FEMA is updating
retention and disposal to include the FEMA Records Schedule title and
NARA authority for the maintenance of these records; (9) FEMA is
updating record source categories to explicitly state that the DHS/
FEMA-008 Disaster Recovery Assistance Files System of Records (April
30, 2013, 78 FR 25282) and DHS/FEMA-009 Hazard Mitigation, Disaster
Public Assistance, and Disaster Loan Programs system of records are
``sources'' for information captured within the QARS system of records.
Additionally, FEMA is making non-substantive grammatical changes
throughout this notice for the purpose of clarification.
The purpose of this system of records is to enable FEMA's Quality
Control Department, Customer Satisfaction Analysis Section, Contract
Oversight Management Section, and NPSC Supervisory staff to better
monitor, evaluate, and assess its employees and/or contractors so that
FEMA can improve customer service to those seeking disaster assistance.
The purpose is consistent with FEMA's mission to improve its capability
to respond to all hazards and support the citizens of our Nation.
This updated system will be included in the Department of Homeland
Security's inventory of record systems.
Consistent with DHS's information-sharing mission, information
stored in the DHS/FEMA-002 Quality Assurance Recording System of
Records may be shared with other DHS components that have a need to
know the information to carry out their national security, law
enforcement, immigration, intelligence, or other homeland security
functions. In addition, DHS/FEMA may share information with appropriate
federal, state, local, tribal, territorial, foreign, or international
government agencies consistent with the routine uses set forth in this
system of records notice.
II. Privacy Act
The Privacy Act embodies fair information practice principles in a
statutory framework governing the means by which federal government
agencies collect, maintain, use, and disseminate individuals' records.
The Privacy Act applies to information that is maintained in a ``system
of records.'' A ``system of records'' is a group of any records under
the control of an agency from which information is retrieved by the
name of an individual or by some identifying number, symbol, or other
identifying particular assigned to the individual. In the Privacy Act,
an individual is defined to encompass U.S. citizens and lawful
permanent residents. As a matter of policy, DHS extends administrative
Privacy Act protections to all individuals when systems of records
maintain information on U.S. citizens, lawful permanent residents, and
visitors.
Below is the description of the DHS/FEMA-002 Quality Assurance
Recording System of Records.
In accordance with 5 U.S.C. 552a(r), DHS has provided a report of
this system of records to the Office of Management and Budget and to
Congress.
SYSTEM OF RECORDS
Department of Homeland Security (DHS)/Federal Emergency Management
Agency (FEMA)-002.
System name:
DHS/FEMA-002 Quality Assurance Recording System (QARS).
Security classification:
Unclassified.
System location:
Records are maintained primarily at the FEMA Texas National
Processing Service Center (NPSC), Denton, TX 76208; however, records
may also be maintained at the Virginia NPSC, Winchester, VA, and the
Maryland NPSC, Hyattsville, MD, within the QARS IT system.
Categories of individuals covered by the system:
This system collects information from FEMA employees and
contractors at FEMA's National Processing Service Centers (NPSCs) who
are making or receiving telephone calls to or from disaster assistance
applicants; FEMA employees and contractors engaged in the case review
of disaster assistance applications not related to a telephone call to
or from a disaster assistance applicant; and FEMA employees and
contractors performing customer service satisfaction assessments
involving applicants of FEMA individual assistance or public assistance
programs.
Categories of records in the system:
Voice recordings of telephone calls between FEMA employees
and/or contractors and applicants for FEMA's individual assistance and
public assistance programs. Telephone calls may include a third-party
vendor that is providing language translation services on behalf of
FEMA;
A ``quality result'' generated in QARS for each call or
case processing activity that is evaluated by a FEMA supervisor or
quality control specialist assessing the level of customer service
provided by the FEMA employee/contractor to the FEMA individual
assistance or public assistance applicant;
System-generated Contact ID;
Name of FEMA employee who conducted the assessment;
Identification number of FEMA employee who conducted the
assessment;
FEMA employee/contractor name; and
FEMA employee/contractor user identification number.
Tracking of FEMA employee/contractor activity in the National
Emergency Management Information System--Individual Assistance
(formerly National Emergency Management Information System (NEMIS)-IA)
and Customer Satisfaction Analysis System (CSAS) related to call
recordings, case review processing not related to a phone call, and/or
customer satisfaction assessments may include the following individual
assistance applicant information:
Survey ID;
Applicant's name;
Applicant email address;
Home address;
Social Security number;
Applicant phone number(s);
[[Page 35368]]
Current mailing address; and
Personal financial information including applicant's bank
name, bank account information, insurance information, and individual
or household income.
Tracking of FEMA employee/contractor activity in CSAS related to
call recordings for customer satisfaction assessments may include the
following public assistance applicant information:
Survey ID;
Applicant/Point of Contact name and title;
Applicant email address;
Organization Name;
Applicant's organization phone number(s); and
Organization's business and/or mailing address.
Authority for maintenance of the system:
5 U.S.C. 301; 5 CFR 430.102; 5 U.S.C. 4302 and 5 U.S.C. 7106(a); 6
U.S.C. 795; 29 U.S.C. 204(b); Executive Order No. 13571; FEMA Directive
3100.1; FEMA Directive 3700.1; and FEMA Directive 3700.2.
Purpose(s):
The purpose of this system is to collect, maintain, use, and
retrieve performance records of the FEMA employees, contractors, and
vendors who interact with applicants of the Agency's individual
assistance and public assistance programs for internal employee and/or
contractor performance evaluations, training, and quality assurance
purposes to improve FEMA's customer service to and satisfaction of
those individuals applying for FEMA's individual and public assistance
programs.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DHS as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
A. To the Department of Justice (DOJ), including Offices of the
U.S. Attorneys, or other federal agency conducting litigation or in
proceedings before any court, adjudicative, or administrative body,
when it is relevant or necessary to the litigation and one of the
following is a party to the litigation or has an interest in such
litigation:
1. DHS or any component thereof;
2. Any employee or former employee of DHS in his/her official
capacity;
3. Any employee or former employee of DHS in his/her individual
capacity when DOJ or DHS has agreed to represent the employee; or
4. The U.S. or any agency thereof.
B. To a congressional office from the record of an individual in
response to an inquiry from that congressional office made at the
request of the individual to whom the record pertains.
C. To the National Archives and Records Administration (NARA) or
General Services Administration pursuant to records management
inspections being conducted under the authority of 44 U.S.C. 2904 and
2906.
D. To an agency or organization for the purpose of performing audit
or oversight operations as authorized by law, but only such information
as is necessary and relevant to such audit or oversight function.
E. To appropriate agencies, entities, and persons when:
1. DHS suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised;
2. DHS has determined that as a result of the suspected or
confirmed compromise, there is a risk of identity theft or fraud, harm
to economic or property interests, harm to an individual, or harm to
the security or integrity of this system or other systems or programs
(whether maintained by DHS or another agency or entity) that rely upon
the compromised information; and
3. The disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with DHS' efforts to
respond to the suspected or confirmed compromise and prevent, minimize,
or remedy such harm.
F. To contractors and their agents, grantees, experts, consultants,
and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment for DHS, when necessary to
accomplish an agency function related to this system of records.
Individuals provided information under this routine use are subject to
the same Privacy Act requirements and limitations on disclosure as are
applicable to DHS officers and employees.
G. To an appropriate federal, state, tribal, local, international,
or foreign law enforcement agency or other appropriate authority
charged with investigating or prosecuting a violation or enforcing or
implementing a law, rule, regulation, or order, when a record, either
on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal,
civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the
disclosure.
H. To the news media and the public, with the approval of the Chief
Privacy Officer in consultation with counsel, when there exists a
legitimate public interest in the disclosure of the information, when
disclosure is necessary to preserve confidence in the integrity of DHS,
or when disclosure is necessary to demonstrate the accountability of
DHS's officers, employees, or individuals covered by the system, except
to the extent the Chief Privacy Officer determines that release of the
specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
DHS/FEMA stores records in this system electronically or on paper
in secure facilities in a locked drawer behind a locked door. The
records may be stored on magnetic disc, tape, and digital media.
Retrievability:
FEMA retrieves records in QARS by the FEMA employee and/or
contractor's name and user identification number, or system-generated
Contact ID number. This system does not retrieve information by
individual or public assistance applicant information.
Safeguards:
DHS/FEMA safeguards records in this system according to applicable
rules and policies, including all applicable DHS automated systems
security and access policies. FEMA has imposed strict controls to
minimize the risk of compromising the information that is being stored.
Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information
for the performance of their official duties and who have appropriate
clearances or permissions.
Retention and disposal:
The retention period for information maintained in QARS depends on
the use of the data. Records within QARS that are used in an evaluation
of a FEMA employee or contractor are retained for six years, pursuant
to FEMA Records Schedule, Series 15-1 ``National Processing Service
Centers Evaluated Call Recordings,'' NARA
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Authority N1-311-08-1. Records that are not used in an evaluation of a
FEMA employee or contractor are purged from the secured servers within
45 days, per FEMA Records Schedule, Series 15-2 ``National Processing
Service Centers Unevaluated Call Recordings,'' also under NARA
Authority N1-311-08-1.
System Manager and address:
Manager (940) 891-8500, Enterprise Performance Information
Management Section, Federal Emergency Management Agency, Texas National
Processing Service Center, Denton, TX 76208.
Notification procedure:
Individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content,
may submit a request in writing to the Chief Privacy Officer and
Headquarters or FEMA Freedom of Information Act (FOIA) Officer, whose
contact information can be found at http://www.dhs.gov/foia under
``Contacts.'' If an individual believes more than one component
maintains Privacy Act records concerning him or her, the individual may
submit the request to the Chief Privacy Officer and Chief Freedom of
Information Act Officer, Department of Homeland Security, 245 Murray
Drive SW., Building 410, STOP-0655, Washington, DC 20528.
When seeking records about yourself from this system of records or
any other Departmental system of records, your request must conform
with the Privacy Act regulations set forth in 6 CFR Part 5. You must
first verify your identity, meaning that you must provide your full
name, current address, and date and place of birth. You must sign your
request, and your signature must either be notarized or submitted under
28 U.S.C. 1746, a law that permits statements to be made under penalty
of perjury as a substitute for notarization. While no specific form is
required, you may obtain forms for this purpose from the Chief Privacy
Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov/foia or 1-866-431-0486. In addition, you should:
Explain why you believe the Department would have
information on you;
Identify which component(s) of the Department you believe
may have the information about you;
Specify when you believe the records would have been
created; and
Provide any other information that will help the FOIA
staff determine which DHS component agency may have responsive records;
and
If your request is seeking records pertaining to another living
individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records.
Without the above information, the component(s) may not be able to
conduct an effective search, and your request may be denied due to lack
of specificity or lack of compliance with applicable regulations.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
FEMA obtains records from FEMA employees and contractors who assist
disaster survivors in the disaster assistance application and casework
process, FEMA employees, and/or contractors initiating customer
satisfaction assessments of FEMA disaster assistance applicants, and
from supervisors or quality control specialists. This system of records
contains PII of individual assistance applicants, which is part of the
DHS/FEMA-008 Disaster Recovery Assistance Files System of Records,
April 30, 2013, 78 FR 25282, as well as PII of public assistance
applicants, which is part of the DHS/FEMA-009 Hazard Mitigation,
Disaster Public Assistance, and Disaster Loan Programs System of
Records.
Exemptions claimed for the system:
None.
Dated: June 3, 2014.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2014-14079 Filed 6-19-14; 8:45 am]
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